- (1) The division enacts this rule under authority granted by Sections 61-1-2 and 61-1-24.
- (2) This rule sets the requirements whereby an investment adviser may receive performance-based compensation for investment advisory services rendered and sets forth the requirements for investment advisers with custody of client funds or securities.
KEY: securities, securities regulation, investment advisers, custody requirements
Date of Last Change: March 11, 2022
Notice of Continuation: December 18, 2024
Authorizing, and Implemented or Interpreted Law: 61-1-2; 61-1-24